ITSM Process Description Office of Information Technology Incident Management

ITSM Process Description
Office of Information Technology
Incident Management
ITSM Process Description- Incident Management
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Table of Contents
Table of Contents
1. Introduction
2. Incident Management Goals, Objectives, CSFs and KPIs
3. Incident Management Scope
3.1 General Process Scope
3.2 Deployment Scope
4. Benefits
4.1 Benefits To The IT Service Providers
4.2 Benefits To The Users
5. Key Terms & Definitions
6. Roles & Responsibilities
6.1 Incident Management Process Owner
6.2 Incident Management Process Manager
6.3 Tier 1 Technician
6.4 Tier 2 Incident Coordinator
6.5 Tier 2 Incident Technician
6.6 User
7.0 Incident Management High Level Process Flow
7.1 Incident Management High Level Process Descriptions
8.0 Incident Management Tier 1 Process Flow
8.1 Incident Management Tier 1 Process Activity Descriptions
8.2 Incident Management Tier 1 Process RACI Matrix
9.0 Incident Management Tier 2 Process Flow
9.1 Incident Management Tier 2 Process Activity Descriptions
9.2 Incident Management Tier 2 Process RACI Matrix
10.0 Incident Management Verify Document & Close Process Flow
10.1 Incident Management Verify, Document & Close (VD&C) Process Activity
Descriptions
10.2 Incident Management VD&C Process RACI Matrix
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1. Introduction
The purpose of this document is to provide a general overview of the Office of Information Technology
(OIT) Incident Management Process. It includes Incident Management goals, objectives, scope, benefits,
key terms, roles, responsibilities, authority, process diagrams and associated activity descriptions.
The content within this general overview is based on the best practices of the ITIL® framework[1].
2. Incident Management Goals, Objectives, CSFs and KPIs
Goals, objectives and critical success factors (CSFs) define why Incident Management is important to the
Office of Information Technology’s overall vision for delivering and supporting effective and efficient IT
services. This section establishes the fundamental goals, objectives and CSFs that underpin the Incident
Management process. The agreed and documented goals, objectives and CSFs provide a point of
reference to check implementation and operational decisions and activities.
Incident Management is the process responsible for managing the lifecycle of all Incidents irrespective
of their origination.
The goals for the Incident Management process are to:
 Restore normal service operation as quickly as possible
 Minimize the adverse impact on business operations
 Ensure that agreed levels of service quality are maintained
To achieve this, the objectives of OIT’s Incident Management process are to:
 Ensure that standardized methods and procedures are used for efficient and prompt response,
analysis, documentation, ongoing management and reporting of Incidents
 Increase visibility and communication of Incidents to business and IT support staff
 Enhance business perception of IT through use of a professional approach in quickly resolving
and communicating incidents when they occur
 Align Incident management activities and priorities with those of the business
 Maintain user satisfaction with the quality of IT services
CSFs identified for the process of Incident Management and associated Key Performance Indicators
(KPIs) are:
CSF #1 - OIT commitment to the Incident Management process; all departments using the same process.
KPI 1.1 - Number of self service tickets via a customer portal verses tickets created by the
Service Desk.
1.1.1 - Review metrics via ITSM tool on all incident requests recorded and escalated within OIT.
KPI 1.2 - Management is known to review standardized reports produced by the Incident
Management process.
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1.2.1 - ITSM tool, standardized/customized reports made available.
KPI 1.3 - Number of incidents in ITSM tool per department.
1.3.1 - Review metrics via ITSM tool on all incident requests recorded and escalated within OIT.
KPI 1.4 - Management is known to be a user of the Incident Management process.
1.4.1 - Review metrics via ITSM tool on all incident requests recorded and escalated within OIT.
CSF #2 - Consistent, positive experience for all customers
KPI 2.1 - Improved assignment, response and closure time.
2.1.1 Review metrics via ITSM tool on all incident requests recorded and escalated within OIT
specifically focusing on MTTR and customer satisfaction surveys.
KPI 2.2 - Customer use of self service portal increases.
2.2.1 Review metrics via ITSM tool on all incident requests recorded via self service portal.
KPI 2.3 - Amount of journal entries consistent with SLA.
2.3.1 Review metrics via ITSM tool for services with SLA specifically focusing on the quantity and
quality of updates in incident requests.
KPI 2.4 - number of incidents reopened.
2.4.1 Review metrics via ITSM tool specifically looking at incidents that were reopened.
CSF #3 Ability to track internal process performance and identify trends.
KPI 3.1 - Process performance meets established standards in OIT Baseline SLA including:
Assignment time, response time, resolution time, closure time.
3.1.1 Review metrics via ITSM tool on all incident requests recorded and escalated within OIT;
measuring MTTR and SLA requirements.
KPI 3.2 - Number of re-assigned tickets between departments.
3.2.1 Review metrics via ITSM tool on all incident requests recorded specifically looking at
incidents that were reassigned.
3. Incident Management Scope
Scope refers to the boundaries or extent of influence to which Incident Management applies to the
Office of Information Technology. OIT’s Incident Management process consists of three sub-processes
titled Tier 1, Tier 2 and Verify Document and Close (VD&C). The Tier 1 sub-process is initiated by any
department dealing directly with the user and able to resolve the incident without involving additional
departments. The Tier 2 sub-process is initiated when an Incident requires multiple departments to
resolve an Incident. The VD&C sub-process provides a consistent experience for the user ensuring high
levels of customer service. Although it is an optional process, it is considered best practice for
departments to adhere to. Boundaries for the extent of deployment within the Office of Information
Technology are identified for users, service providers, geography, IT services and service components
and environment.
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3.1 General Process Scope
Any event which disrupts, or which could disrupt, a service, including those:
 Reported directly by users
 Reported and/or logged by technical staff
 Detected by Event Management
 Reported and/or logged by Suppliers
Incident Management encompasses all IT service providers, internal and third parties, reporting,
recording or working on an Incident.
All Incident Management activities should be implemented in full, operated as implemented, measured
and improved as necessary.
3.2 Deployment Scope
Incident Management will be deployed and applicable to:
 Users covered by Service Level Agreements (SLAs) specifying service targets for resolution of
Incidents
 Service Providers adopting the Incident Management responsibilities outlined by Service Level
Agreements, Operating Level Agreements (OLAs), and Underpinning Contracts (UCs)
 Services to which Incident Management Resolution Targets agreed in Service Level Agreements
apply
4. Benefits
There are several qualitative and quantitative benefits that can be achieved, for both the IT service
providers and users, by implementing an effective and efficient Incident Management process. The
Incident Management project team has agreed that the following benefits are important to OIT and will
be assessed for input to continuous process improvement throughout the Incident Management process
lifecycle:




Capturing accurate data across OIT to analyze the level of resources applied to the Incident
Management process
Informing business units of the services OIT provides and the level of support and maintenance
required for ongoing service levels
Minimize impacts to business functions by resolving incidents in a timely manner
Providing the best quality service for all users
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4.1 Benefits To The IT Service Providers
Incident Management is highly visible to the business and it is easier to demonstrate its value than most
areas in Service Operation. A successful Incident Management process can be used to highlight other
areas that need attention:
 Improved ability to identify potential improvements to IT services
 Better prioritization of efforts
 Better use of resources, reduction in unplanned labor and associated costs
 More control over IT services
 Better alignment between departments
 More empowered IT staff
 Better control over vendors through Incident Management metrics
4.2 Benefits To The Users





Higher service availability due to reduced service downtime
Reduction in unplanned labor and associated costs
IT activity aligned to real-time business priorities
Identification of potential improvements to services
Identification of additional service or training requirements for the business or IT
5. Key Terms & Definitions
Common terms and vocabulary may have disparate meanings for different organizations, disciplines or
individuals. It is essential early in a process implementation to agree on the common usage of terms. It
is recommended, where possible, not to diverge from Best Practice unless necessary as many other
users and suppliers may be also using the same terms if they are following best practice process
frameworks. This brings unity in the areas of communication to help enhance not only internal dialog
but also documentation, instructions, presentations, reports and interaction with other external bodies.
The following key terms and definitions for the Incident Management process have been agreed by the
Incident Management Project Team on behalf of the Office of Information Technology. These terms and
definitions will be used throughout the process documentation, communications, training materials,
tools and reports.
The following are key terms and Best Practice definitions used in Incident Management. The Incident
Management Project Team carefully read and agreed to each key term. Any changes and/or additional
key terms should be listed, defined and agreed in this section.
Note: Key terms and definitions must be verified and documented consistently across all ITIL processes
implemented in the organization.
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Change Management: The process for managing the addition, modification or removal of anything that
could have an effect on IT Services resulting in minimal disruption to services and reduced risk. The
Scope should include all IT Services, Configuration Items, Processes and Documentation.
Escalation: An Activity that obtains additional resources when these are needed to meet service level
targets or user expectations. Escalation may be needed within any IT service management process but
is most commonly associated with Incident Management, Problem Management and the management
of user complaints. There are two types of escalation: functional escalation and hierarchical escalation.
Event: Any change of state that has significance for the management of an IT service or other
configuration item. The term can also be used to mean an alert or notification created by any IT service,
Configuration Item or a Monitoring tool. Events typically require IT Operations personnel to take actions
and often lead to Incidents being logged.
Failure: Loss of ability to operate to specification, or to deliver the required output. The term Failure
may be used when referring to IT services, processes, activities and Configuration Items. A Failure often
causes an Incident.
Function: A team or group of people and the tools they use to carry out one of more Processes or
Activities; for example, the Service Desk.
Group: A number of people who are similar in some way. People who perform similar activities, even
though they may work in different departments within OIT.
Hierarchic Escalation: Informing or involving more senior levels of management to assist in an
escalation.
Impact: A measure of the effect of an Incident, Problem, or Change on Business Processes. Impact is
often based on how Service Levels will be affected. Impact and urgency are used to assign priority.
Incident: An unplanned interruption to an IT service or reduction in the quality of an IT service. Failure
of a Configuration Item that has not yet impacted service is also an Incident; for example, failure of one
disk from a mirror set.
Incident Management: The process responsible for managing the lifecycle of all Incidents. The primary
purpose of Incident Management is to restore normal IT service operation as quickly as possible.
Incident Record: A record containing the details of an Incident. Each Incident record documents the
lifecycle of a single Incident.
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Incident Workflow: A way of predefining the steps that should be taken to handle a process for dealing
with a particular type of Incident in an agreed way.
Incident Status Tracking: Tracking Incidents throughout their lifecycle for proper handling and status
reporting using indicators such as Open, In progress, Resolved and Closed.
Normal Service Operation: The Service Operation defined within the Service Level Agreement (SLA)
limits.
Primary Technician: The technician who has responsibility for correcting the root cause issue and must
keep users informed of progress. They are also responsible for coordinating child records.
Priority: A category used to identify the relative importance of an Incident, Problem or Change. Priority
is based on impact and urgency and is used to identify required times for actions to be taken. For
example, the SLA may state that Priority 2 Incidents must be resolved within 12 hours.
Priority 1 Incident: The highest category of impact for an Incident which causes significant disruption to
the business. A separate procedure with shorter timescales and greater urgency should be used to
handle Major Incidents.
Problem: The cause of one or more incidents.
Quality Assurance (QA): Optional departmental process for ensuring a desired level of customer service.
This process is defined by the departments that choose to review tickets prior to closure.
RACI Matrix: A responsibility matrix showing who is Responsible, Accountable, Consulted and Informed
for each activity that is part of the Incident Management process.
Role: A set of responsibilities, activities and authorities granted to a person or team. A role is defined in
a process. One person or team may have multiple roles; for example, the roles of Configuration
Manager and Change Manager may be carried out by a single person.
Service Desk: The Single Point of Contact between the Service Provider and the users. A typical Service
Desk manages Incidents and Service Requests and also handles communication with the users.
Severity: A measure of how long it will be until an Incident, Problem or Change has a significant impact
on the business. For example, a high Impact Incident may have low urgency, if the impact will not affect
the business until the end of the financial year. Impact and urgency are used to assign Priority.
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Tier 1: Line staff who are the subject matter experts for assessing, planning and monitoring Incident
Management for their functional organization and specific technology platform. They function as
contact people between the different departments for a specific process and may be responsible for the
design of processes within their own departments.
Tier 2: More in-depth technical support than tier 1. Tier 2 support personnel may be more experienced
or knowledgeable on a particular product or service. Additionally, Tier 2 may be able to provide onsite
troubleshooting and/or resolution. Specialized departments (i.e. Networks, Servers, Video) will provide
Tier 2 Support in their respective areas of expertise.
User: Someone who uses the IT service on a day-to-day basis. Sometimes informally referred to as the
customer.
6. Roles & Responsibilities
A role refers to a set of connected behaviors or actions that are performed by a person, team or group
in a specific context. Process roles are defined by the set of responsibilities, activities and authorities
granted to the designated person, team or group.
Some process roles may be full-time jobs while others are a portion of a job. One person or team may
have multiple roles across multiple processes. Caution is given to combining roles for a person, team or
group where separation of duties is required. For example, there is a conflict of interest when a
software developer is also the independent tester for his or her own work.
Regardless of the scope, role responsibilities should be agreed by management and included in yearly
objectives. Once roles are assigned, the assignees must be empowered to execute the role activities
and given the appropriate authority for holding other people accountable.
All roles and designated person(s), team(s), or group(s) should be clearly communicated across the
organization. This should encourage or improve collaboration and cooperation for cross-functional
process activities.
6.1 Incident Management Process Owner
Profile
The person fulfilling this role is responsible for ensuring that the process is
being performed according to the agreed and documented process and is
meeting the aims of the process definition.
There will be one, and only one, Incident Management Process Owner.
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Responsibilities

Assist with and ultimately be responsible for the process design

Define appropriate policies and standards to be employed throughout
the process

Define Key Performance Indicators (KPIs) to evaluate the effectiveness
and efficiency of the process and design reporting specifications

Ensure that quality reports are produced, distributed and utilized

Review KPIs and take action required following the analysis

Periodically audit the process to ensure compliance to policy and
standards

Address any issues with the running of the process

Review opportunities for process enhancements and for improving
the efficiency and effectiveness of the process

Ensure that all relevant staff have the required technical and business
understanding, knowledge and training in the process and are aware
of their role in the process

Ensure that the process, roles, responsibilities and documentation are
regularly reviewed and audited

Interface with the line management, ensuring that the process
receives the needed staff resources

Provide input to the on-going Service Improvement Program

Communicate process information or changes, as appropriate, to
ensure awareness

Review integration issues between the various processes

Integrate the process into the line organization

Promote the Service Management vision to top-level/senior
management

Function as a point of escalation when required

Ensure that there is optimal fit between people, process and
technology/tool

Ensure that the Incident Management process is Fit for Purpose

Attend top-level management meetings to assess and represent the
Incident Management Requirements and provide Management
Information
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6.2 Incident Management Process Manager
Profile
Tier 1 Technicians are the line staff who are the subject matter experts for
assessing, planning and monitoring Incident Management for their functional
organization and/or specific technology platform. They function as initial
contact between those reporting incidents and the IT organization.
Technicians residing in departments where Tier 2 support is commonly
provided may function as Tier 1 support. In this case the Technician is the
initial contact with those reporting incidents ands provides triage and
resolution.
Responsibilities

Promote the Incident Management process

Ensure the Incident Management process is used correctly

Provide management and other processes with strategic decision
making information related to Incidents and potential Problems

Ensure Incident Management KPIs are met

Ensure that the Incident Management process operates effectively
and efficiently through 1st, 2nd, and 3rd line support and Third Party
organizations

Ensure Incident Management Staff are empowered in their jobs

Maximize the fit between people, process and technology

Provide the resolution of Incidents in a proper and timely manner as it
is the end-responsibility of Incident Management. Ensure that
Incidents are resolved in a proper and timely manner and the
resolutions adhere to objectives set forth in Service Level Agreements

Participate with the Incident Management Process Owner in
developing and maintaining the Incident Management Process,
policies and procedures

Drive the efficiency and effectiveness of the Incident Management
Process

Produce Management Information

Monitor the Incident Management process, using qualitative and
quantitative Key Performance Indicators and make recommendations
for improvement

Play a key role in developing and maintaining the Incident
Management systems

Manage Major Incidents
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
Escalate to Line Management if Service Levels are threatened to be
breached

Identify training requirements of support staff and ensure that proper
training is provided to meet the requirements

Identify opportunities for improving the tools used

Audit the Incident Management process

Escalate to Management and the Incident Management Process
Owner in the event of a conflict between process and Management

Promote the Service Desk with the end-user community, through the
maintenance of a web-page, info mails, bulletins and training Service
Desk staff in communication skills, where needed

Provide Service Desk staff with appropriate information to enable
them to perform their function effectively. This includes process
information, technical knowledge, record allocation information, and
access to Known Error information
6.3 Tier 1 Technician
Profile
Tier 1 Technicians are the line staff who are the subject matter experts for
assessing, planning and monitoring Incident Management for their functional
organization and/or specific technology platform. They function as initial
contact between those reporting incidents and the IT organization.
Technicians residing in departments where Tier 2 support is commonly
provided may function as Tier 1 support. In this case the Technician is the
initial contact with those reporting incidents ands provides triage and
resolution.
Responsibilities

Log relevant Incidents

Categorize and prioritize incidents

Provide first-line investigation and diagnosis

Resolve those Incidents they are able to

Escalate incidents that cannot resolve within agreed timescales

Close all assigned and resolved Incidents

Communicate with users; keep them informed of incident progress,
notifying them of impending changes or agreed outages, etc.

Take ownership of assigned Incidents
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
Understand and use the process, procedures, work instructions,
policies, required documentation and tools
6.4 Tier 2 Incident Coordinator
Profile
Incident Coordinators are the line staff who are responsible for the planning
and monitoring of the Incident Management process and associated records.
They function as contact people between the different departments for a
specific process and may be responsible for the design of processes within
their own departments.
In general the Tier 2 Incident Coordinator:
Responsibilities

May be a department lead or a person identified as an Incident
coordinator for a length of time.

Understands how the specific technology fits in with the overall IT
service and Service Lifecycle

Must be an effective communicator

Is a member of a department who is able to combine daily
departmental activities with the coordination role

Managing ownership of Incident records while providing monitoring
and tracking of Incidents for their department

Validates, accepts and assigns Incident records to Tier 2 Incident
Technicians

Closing all assigned and resolved Incidents

Determine whether an Incident record requires special reporting

Understand the process, procedures, work instructions, policies,
required documentation and tools

Use the process, procedures, work instructions, policies, required
documentation and tools as designed

Produce usage and performance data for his or her specific
technology platform and report on performance against Incident
Management process CSFs & KPIs

Initiate the Verify, Document and Close process
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6.5 Tier 2 Incident Technician
Profile
Responsibilities
Tier 2 Incident Technicians provide more in-depth technical support than Tier
1 Technicians. Tier 2 Technicians may be more experienced or knowledgeable
on a particular product or service. Additionally, Tier 2 Technicians may be
able to provide onsite troubleshooting and/or resolution. Tier 2 Technicians
normally reside in specialized departments, such as Networks, Servers or
Video, and will provide support in their respective areas of expertise.

If no Tier 2 Incident Coordinator role is identified, take ownership and
provide monitoring and tracking of all Incidents

If no Tier 2 Incident Coordinator role is identified, validates, accepts
and assigns Incident records

Communication with users – keeping them informed of incident
progress, notifying them of impending changes, confirming Incident
resolution or agreed outages, etc.

Closing all assigned and resolved Incidents

Initiate the Change Management process if an Incident requires a
Change to resolve

Request interdepartmental work if required to resolve an Incident

Determine whether an Incident record requires special reporting

Understand the process, procedures, work instructions, policies,
required documentation and tools

Use the process, procedures, work instructions, policies, required
documentation and tools as designed

Initiate the Verify, Document and Close process
6.6 User
Profile
Responsibilities
Any person who reports an incident or requests a change. This person may
come from many of the ITSM roles to included, but not limited to: User,
Service Owner, Service Provider, or Tier 1/Tier 2 Technician.

Provides the input into the Incident Management Process

Reports incidents when they occur

Uses the Service Desk, contacts a department directly, or opens a
ticket directly in the ITSM Tool
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
Provides correct and complete information about the incident itself
and the circumstances under which it occurred
7.0 Incident Management High Level Process Flow
7.1 Incident Management High Level Process Descriptions
Activity
Description
1.0
Incident Management Tier 1
This process describes the activities that take place to resolve
incidents within Tier 1, which may be either the Support Center or
a department that has been contacted directly. If Tier 2 is
contacted directly, they will act on behalf of Tier 1, following the
process through to Tier 2, if the record requires escalation.
Interactions which are determined to be anything other than an
incident are outside the scope of this process.
2.0
Incident Management Tier 2
Incidents that are unable to be resolved at Tier 1 are escalated to
second level support (Tier 2).
3.0
Incident Management Verify,
Document & Close (V,D & C)
This process is used by both Tier 1 and Tier 2 to ensure all
incidents are verified, documented and closed consistently.
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8.0 Incident Management Tier 1 Process Flow
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8.1 Incident Management Tier 1 Process Activity Descriptions
1.1
Log, Categorize and Prioritize Incident
Purpose
The incident is logged, prioritized, and categorized in the ITSM
tool to enable tracking and monitoring through resolution of the
incident
Requirement Statement
All incidents are tracked in the ITSM tool
Inputs
Phone, email, self service notification
Procedure or Work Instruction
Steps
Outputs

Incident is logged in the ITSM tool

Include incident details

Incident is categorized based on internal agreement

Incident is prioritized based on impact and severity

Choose user notification method
Incident record
Metric

Total number of incidents reported

Number of incidents by category

Number of incidents by priority
1.2
Troubleshoot Using Knowledge Base
Purpose
Resolve incident quickly, minimizing impact to the university
Requirement Statement
To resolve incident at initial point of contact
Inputs
Incident record and available knowledge base articles
Procedure or Work Instruction
Steps
Outputs
Metric

Has another user called with a similar incident?

Use available knowledge to resolve the incident

Attempt to resolve the incident collaboratively with User

Attempt to resolve incident using remote assistance

Apply resolution if applicable

Updated Incident record

New or updated knowledge base record

Time to resolve incident

Incidents resolved using remote assistance

Incidents resolved using knowledge base
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D.1.3
Related to Open Incident?
Purpose
Tier 1 combines similar service requests into one incident. The
purpose of relating records is to minimize the impact to Tier 2
resources.
Decision Logic
Yes – Go to 1.4 Relate to existing record
No – Go to D.1.6 Resolved at Tier 1?
1.4
Relate to Existing Record
Purpose
To link similar incidents together under one parent incident
record. When parent incident is closed, users are notified based
on notification method in step 1.1
Requirement Statement
All duplicate incidents will be relate to a parent record. Related
service requests should be combined together to minimize the
number of incidents being worked on.
Inputs
Incident record
Procedure or Work Instruction
Steps

Relate new incident to open incident using ITSM tool
referencing ERD managed by Incident Manager
o
Outputs
If relationship error is made (not related
appropriately or mis-assigned) first line support
will break relation and modify parent/child
relationships
Updated Incident record
Metric

Number of related requests to one incident

Number of incidents re-opened
1.5
Update Priority
Purpose
Multiple reports of a similar incident may reflect a larger scope of
service degradation. Incident resolution may require additional
resources.
Requirement Statement
Incidents will have an assigned priority allowing appropriate
resources to be directed towards resolution.
Inputs
Multiple incident records, ERD
Procedure or Work Instruction

Update priority of parent record
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Steps
Outputs
o
Priority based on impact and severity
o
Incident Manager communicates with the
appropriate Incident Coordinator
Updated incident record

Metric
Number of high priority incidents
D.1.6
Resolved at Tier 1?
Purpose
Determine whether escalation is needed
Decision Logic
Yes – Go to VD&C process
No – Go to 1.7 Escalate to Tier 2
1.7
Escalate to Tier 2
Purpose
To escalate incidents to the correct Tier 2 group based on
established service agreements
Requirement Statement
Resolve all incidents at the lowest level possible
Inputs
Incident record
Procedure or Work Instruction
Steps

Validate completeness of incident record per established
service agreements

Reference service agreements to determine Tier 2
assignment group
o

Outputs
Metric
Support Center may act as Tier 2 in support of
specific services
Escalate incident
Updated incident record

Number of incidents escalated

Number of incidents resolved at Tier 1
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D.1.8
Is This a High Priority?
Purpose
High priority incidents require additional coordination with Tier 2
support
Decision Logic
Yes – Go to 1.9 Confirm receipt with Incident Coordinator
No – Go to Tier 2 process
1.9
Confirm Receipt with Incident Coordinator
Purpose
Confirm Tier 2 is aware of a high priority incident ensuring
resources are allocated to resolution in a timely manner
Requirement Statement
Incidents will have an assigned priority allowing appropriate
resources to be directed towards resolution.
Inputs
Incident record
Procedure or Work Instruction
Steps
Outputs
Metric

Tier 1 technician confirms the Tier 2 incident coordinator
(or designee) received the incident record

Tier 1 technician makes Tier 2 incident coordinator (or
designee) aware of the high priority incident

Tier 1 technician passes along incident details to the Tier 2
incident coordinator (or designee)
Updated incident record

Number of incidents by priority
ITSM Process Description- Incident Management
20
8.2 Incident Management Tier 1 Process RACI Matrix
IM Process
Owner/Manager
Tier 1
Technician
1.1
Log, categorize and
prioritize incident
A
R
1.2
Troubleshoot using
knowledge base
A
R
D.1.1
Related to open
incident?
A
R
1.3
A
Relate to existing record
R
1.4
Update priority
A
R
D.1.2
Resolved at Tier 1?
A
R
1.5
Escalate to Tier 2
A
R
D.1.3
Is this a high priority?
A
R
1.6
Confirm receipt with
incident coordinator
A
R
Activity
Tier 2
Incident
Coordinator
Tier 2
Technician
User
C
C
I
C
Responsible
Accountable
Consulted
Informed
ITSM Process Description- Incident Management
21
I
9.0 Incident Management Tier 2 Process Flow
ITSM Process Description- Incident Management
22
9.1 Incident Management Tier 2 Process Activity Descriptions
2.1
Incident Coordinator Validates & Accepts
Purpose
Verify that incident is assigned correctly, correct priority, valid
incident and acknowledged by assignment team
Requirement Statement
When validating Incidents, it is the responsibility of the Incident
Coordinator to determine if the ticket is assigned, prioritized and
categorized correctly.
Inputs
Incident Record
Related Record, Phone, Email, Alerts, Internal Service Request,
Self Service
Procedure or Work Instruction
Steps
Outputs

Incident Coordinator review Incident for accuracy
o
Incident Coordinator verifies assignment

Incident Coordinator acknowledges acceptance

Update Incident Record
Updated Incident Record
Metric

Number of records incorrectly assigned Incidents

Number of tickets by priority

Time to assignment
2.2
Departmental Reporting Per Priority
Purpose
Depending on Departmental requirements, reporting
requirements might be different for various priorities.
Requirement Statement
If special reporting is required, it will be done according to
Departmental requirement
Inputs
Incident Record
Procedure or Work Instruction
Steps
Outputs
Metric

Determine whether the priority of this ticket requires
special reporting

Follow procedures for special reporting
Updated Incident Record

Number of tickets requiring special handling
ITSM Process Description- Incident Management
23
2.3
Incident Coordinator Assigns Incident to Tech
Purpose
The incident will be assigned to a technician to begin work
Requirement Statement
All incidents will be assigned to a technician to begin steps for
resolution
Inputs

Incident Record
Procedure or Work Instruction
Steps

Incident Coordinator assigns Incident to technician
Outputs

Updated Incident Record
2.4
Assessment and Initial Contact with User
Purpose
To begin assessment of the Incident and contact the user,
informing them that their request is being worked on
Requirement Statement
All incidents must be assessed to determine steps to resolution
and the user of the related record will be contacted notifying
them that work has begun
Inputs
Incident Record
Procedure or Work Instruction
Steps
Outputs

Technician will make initial contact with the user to
confirm that their Incident is being addressed and ask any
preliminary questions that may be needed to
troubleshoot

Technician will conduct an initial assessment of the
incident

Updated Incident Record
2.5
Use Existing Knowledge Base, Begin Troubleshooting
Purpose
Use existing knowledge base, if applicable, to begin
troubleshooting
Requirement Statement
OIT / Departmental knowledge bases assist technicians with
troubleshooting
Inputs
Incident Record
Procedure or Work Instruction
Steps
Outputs

Technician will check the knowledgebase to see if there is
information available on the Incident

Technician will begin troubleshooting

Updated Incident Record
ITSM Process Description- Incident Management
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2.6
Begin Incident Resolution
Purpose
Incident Technician will take initial steps required to complete the
Incident resolution
Requirement Statement
All Incidents must be resolved
Inputs
Incident Record
Procedure or Work Instruction
Steps
Outputs

Incident Technician begins initial work required to resolve
the incident

If resolution requires assistance from a vendor or the
acquisition and/or replacement of hardware:

o
Set incident record status accordingly
o
Annotate record with case, ticket, order or RMA
number
o
Notify user of possible delays
Updated Incident Record
D.2.7
Incident Require a Change to resolve?
Purpose
If a change is required to resolve the incident, a related Change
record must be created. For additional information on OIT’s
Change Process, see Change Management Process
Documentation.
Decision Logic
Yes – Go to 2.8 Open related record
No – Go to D.2.10 Is interdepartmental work required?
ITSM Process Description- Incident Management
25
2.8
Open Related Record
Purpose
To inform a department that a Change will be needed to resolve
an Incident
Requirement Statement
If a Change is required to resolve an Incident, a related Change
record is created to inform the department of the work they will
need to complete
Inputs
Incident Record
Procedure or Work Instruction
Steps

Open a new/related Change record classified and
prioritized appropriately
o
Outputs
Metric
If the new/related Change record is a high
priority, confirm that the necessary department
received the new/related record.
Updated Incident Record and Change Record

Number of Incidents that require a Change to resolve
D.2.9
Is Inter-Departmental work required?
Purpose
If another department is needed to resolve an Incident, the
technician must create a related record. If yes, go to 2.8. If no, go
to D.2.11
Decision Logic
Yes – Go to 2.11 Open related record
No – Go to 2.13 Complete Incident resolution
2.10
Open Related Record
Purpose
Another internal OIT group is required to assist in the resolution of
the parent incident. In most cases this relation will be in the form
of an incident. Currently, some groups use this to escalate related
(child) changes as well as related (child) incidents. As change
management within OIT becomes more mature this will be used
only for related incidents.
To inform another department that they will be involved in the
resolution of an Incident.
Requirement Statement
If inter-departmental work is required, a related record is created
to inform that department of the work they will need to complete
ITSM Process Description- Incident Management
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Inputs
Incident Record
Procedure or Work Instruction
Steps

Open a new/related Incident record classified and
prioritized appropriately
o

Outputs
2.11
Purpose
Requirement Statement
Inputs
Procedure or Work Instruction
Steps
Outputs
2.12
Purpose
Requirement Statement
Inputs
Procedure or Work Instruction
Steps
Outputs
If the new/related Incident record is a high
priority, confirm that the necessary department
received the new/related Incident record.
Updated Incident Record
Validate Inter-departmental Work
After related work is completed, either as a Change, another
Incident or both, tasks will be confirmed by the department that
created the related record
If a department creates a related record, all tasks completed by
another department must be validated
Incident Record
● Ensure all related record have been closed and are
validated
● Updated Incident Record
Complete Incident Resolution
Incident Technician will take final steps required to complete the
Incident resolution
All Incidents must be resolved
Incident Record
● Incident Technician completes all work required to
finalize resolution
● Updated Incident Record
ITSM Process Description- Incident Management
27
9.2 Incident Management Tier 2 Process RACI Matrix
Activity
IM Process
Owner/Manager
Tier 1
Technician
Tier 2
Incident
Coordinator
Tier 2
Technician
2.1 Incident Coordinator A
Validates & Accepts
R
2.2 Departmental
Reporting Per Priority
A
R
R
2.3 Incident Coordinator A
Assigns Incident to Tech
R
C/I
2.4 Assessment and
A
Initial Contact with User
R
2.5 Use Existing
Knowledge base, Begin
Troubleshooting
A
R
2.6 Begin Incident
Resolution
A
R
D.2.7 Incident Require a
Change to Resolve?
A
2.8 Open Related
Record
A
R
2.9 Assign Appropriate
Priority to the Change
A
R
D.2.10 Is interdepartmental work
required?
A
2.11 Open Related
Record
A
R
2.12 Validate related
work
A
R
2.13 Complete Incident
Resolution
A
C/I
C/I
I
User
C
C/I
R
I
R
R
ITSM Process Description- Incident Management
28
I
C/I
10.0 Incident Management Verify Document & Close Process Flow
ITSM Process Description- Incident Management
29
10.1 Incident Management Verify, Document & Close (VD&C) Process Activity
Descriptions
3.1
Primary Tech Verifies Resolution
Purpose
Verification of incident resolution with the user
Requirement Statement
Keeping with high standards of customer service, the tech must
verify that the resolution applied fixed the issues the user was
experiencing.
Inputs
Incident record (specifically the resolution)
Procedure or Work Instruction
Steps
Outputs

Tech verifies fix applied resolves issue from tech’s end;
verification: did we apply the fix right?

Tech will contact the user

Tech confirms from user’s perspective that the resolution
applied fixed the issue that caused them to submit a
ticket
User verification that the resolution fixed their issue

Metric
Length of time to resolution
3.2
Confirm with User Incident can be Closed
Purpose
Validation and Confirmation of incident closure with the user
Requirement Statement
Keeping with high standards of customer service, the tech must
confirm that the user is comfortable with closing their ticket
because their issue has been resolved.
Inputs
Conversation with the user
Procedure or Work Instruction
Steps
Outputs
Metric

After contacting the user via prefered method to validate
that the applied resolution worked; validation: did we
apply the right fix for the user?

Confirm with the user that the incident record is able to
be closed.
User validates that it is alright to close their record. If not, the
record must be routed through the Tier2 process again.

Length of time to closure
ITSM Process Description- Incident Management
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3.3
Update Knowledge Base and Incident Record
Purpose
Update the knowledge base accessed by your department or by
OIT, whichever applies.
Requirement Statement
Sharing knowledge of incidents occurring throughout campus is a
helpful tool when detecting root causes. Whether a departmental
knowledge base or one knowledge base for all of OIT, the
knowledge base must be updated to assist others using the ITSM
tool.
Inputs
Steps to resolution
Procedure or Work Instruction
Steps
Outputs

Update Incident Record with actions taken for 3.1 and
user responses in 3.2 as well as any other responses that
apply to the resolution of the incident

Update relevant Knowledge Base

Updated Incident Record and Knowledge Base
D.3.4
Is Review Required by the Incident Coordinator?
Purpose
To provide a “second pair of eyes,” for additional Quality
Assurance at the departmental level.
Decision Logic
Yes – Go to 3.5 Tech proposes closing Incident
No – Go to 3.11 Tech closes Incident record
3.5
Tech Proposes Closing Incident
Purpose
If additional Quality Assurance check is required, another
technician will verify the work that was completed
Requirement Statement
The technician believes that the incident was resolved and
submits the incident record to management or the Incident
Coordinator for review that it meets departmental standards and
adheres to procedures.
Inputs
The Incident Record
Procedure or Work Instruction
Steps

Tech changes status to “Pending Closed”
o

Answer Optional QA Questions as appropriate
Submits the incident record for review to management or
Incident Coordinator
ITSM Process Description- Incident Management
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Outputs
Updated Incident Record

Metric
Number of additional Quality Assurance reviews by
department.
3.6
Incident Coordinator Verifies Optional QA Questions
Purpose
Provides a second opportunity to ensure that the technician
completed the required steps
Requirement Statement
Some departments may deem it necessary to use additional
Quality Assurance steps. If so, ensure affirmative or appropriate
context is provided in the incident record.
Inputs
Incident Record
Procedure or Work Instruction
Steps
Outputs
Metric

Verify the record contains acceptable outputs for activity
3.5.

Here are some examples of Quality Assurance questions:

What were the steps completed to resolve the Incident?

Did the technician test the resolution?

Did the user test the resolution?

Did the user verify that the Incident Record can be
closed?

What Knowledge Base article was used?
Updated Incident Record

Number of Incidents that fail Quality Assurance Check
D.3.7
Passes Quality Assurance Check?
Purpose
It is the responsibility of the Incident Coordinator to determine
whether the incident passes the Quality Assurance Check.
Decision Logic
Yes – Go to 3.10 Incident Coordinator closes Incident
No – Go to 3.8 Reassign record to tech
ITSM Process Description- Incident Management
32
3.8
Reassign Record to Tech
Purpose
Assign to Technician to resolve outstanding QA Issues
Requirement Statement
It is the responsibility of the Incident Coordinator to assign the
incident to a technician to resolve all outstanding issues
Inputs
Incident Record
Procedure or Work Instruction
Steps
Outputs

Incident Coordinator assigns Incident Record to technician

Incident coordinator communicates needed information
to be included in the incident records or appropriate
changes to bring resolution into compliance with QA
Updated Incident Record

Metric
Number of Incidents Failing Quality Assurance Check
3.9
Tech Resolves Quality Assurance Issue
Purpose
Technician to resolve outstanding Quality Assurance Issues
Requirement Statement
In order to pass a Quality Assurance check, the technician ensures
that all standard operating procedures have been met
Inputs
Incident Record
Procedure or Work Instruction
Steps

Technician resolves all outstanding QA issues

Resubmit record to Incident Coordinator, step 3.5
Outputs

Updated Incident Record
3.10
Incident Coordinator Closes Incident
Purpose
Incident passed the Quality Assurance check enabling the Incident
Coordinator to close the record
Requirement Statement
All Incident Records will be closed upon completion
Inputs
Incident Record
Procedure or Work Instruction
Steps
Outputs

Incident Coordinator changes the status of the record to
closed

Include Quality Assurance questions and answers in
resolution

Closed Incident Record
ITSM Process Description- Incident Management
33
3.11
Tech Closes Incident Record
Purpose
If no Quality Assurance check was needed, the technician closes
the incident record
Requirement Statement
All Incident Records will be closed upon completion
Inputs
Incident Record
Procedure or Work Instruction
Steps

Technician changes the status of the record to closed
Outputs

Closed Incident Record
3.12
User Notified of Incident Closure
Purpose
The user must be notified that their Incident has been closed in
the ITSM tool
Requirement Statement
All users must be notified when their Incident Record has been
closed in the ITSM tool
Inputs
Closed Incident Record
Procedure or Work Instruction
Steps
Outputs


User is notified based upon their notification preference
o
If preference is email then automated email
generated from the ITSM tool is sufficient
o
If preference is telephone, the Support Center is
notified and will follow up with the User via
telephone
User Notification of closure
ITSM Process Description- Incident Management
34
10.2 Incident Management VD&C Process RACI Matrix
IM Process
Owner/Manager
Tier 1
Technician
3.1 Primary Tech
Verifies Resolution
A
3.2 Confirm with User
Incident can be Closed
Tier 2
Incident
Coordinator
Tier 2
Technician
User
R
R
C
A
R
R
C
3.3 Update Knowledge
base and Incident
Record
A
R
C
R
D.3.4 Is Additional
Incident Coordinator
Review Required?
A
R
R
R
3.5 Technician Proposes
Closing Incident
A
R
3.6 Incident Coordinator A
Verifies Optional QA
Questions
C
Activity
R
R
C
D.3.7 Passes QA Check?
A
R
3.8 Reassign Record to
Technician
A
I
R
I
3.9 Tech Resolves QA
Issue
A
R
C
R
3.10 Incident
Coordinator Closes
Incident
A
3.11 Technician Closes
Incident Record
A
R
R
R
ITSM Process Description- Incident Management
35
C